IAF/ILAC-A4:2004

Guidance on the Application

of ISO/IEC 17020
Copyright ILAC/ IAF 2004
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IAF/ILAC-A4:2004
Guidance on the Application
of ISO/IEC 17020
IAF/ILAC-A4:2004
4
Guidance on the Application of ISO/IEC 17020
Introduction
This guidance document is for ISO/ IEC 17020:
General Criteria for theoperation of various types of
bodies performinginspection (1998). The guidance on
the quality system elements is formulated so that it
can be used in combination with the relevant
elements of ISO 9001:2000.
The international standard ISO/ IEC 17020 sets
out general criteria for the operation of various
types of bodies performing inspection. (This
standard is identical to EN 45004). If inspection
bodies are to be accredited in a harmonised
manner as complying with ISO/ IEC 17020 some
guidance to the standard is necessary. These
guidance notes provide it. One aim is to enable
accreditation bodies to harmonise their application
of the standard against which they are bound to
assess inspection bodies. This is an important step
towards mutual recognition of accreditation. It is
hoped that the guidance will also be useful to
inspection bodies themselves and to those whose
decisions are guided by their inspection reports/
certificates. For ease of reference, identified by
the relevant clause number with an appropriate
suffix, e.g. 12.2a would be guidance on the
requirements of clause 12.2 of the standard.
This guidance will form the basis of mutual
recognition arrangements between accreditation
bodies, and is considered necessary for the
consistent application of ISO/ IEC 17020.
Members of the ILAC/ IAF Multi Lateral Mutual
Recognition Arrangement (MLMRA), and
applicants for membership in that Arrangement,
will assess each others implementation of ISO/
IEC 17020 and all of this guidance is expected to
be adopted by accreditation bodies as part of their
general rules of operation.
The term shall is used throughout this document
to indicate those provisions which, reflecting the
requirements of ISO/ IEC17020, are mandatory.
The term should is used to indicate those
provisions which, although not mandatory, are
provided by ILAC/ IAF as a recognised means of
meeting the requirements. Inspection bodies
whose systems do not follow the ILAC/ IAF
guidance in any respect will only be eligible for
accreditation if they can demonstrate to the
accreditation body that their solutions meet the
relevant clause of ISO/ IEC 17020 in an
equivalent way.
An accreditation body shall at all times maintain its
impartiality as required by ISO/ IEC TR 17010
clause 4.2. Nevertheless, it shall be prepared to
discuss this guidance and its interpretation with an
applicant body, and, where appropriate, to respond
to enquiries.
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Guidance on the Application of ISO/IEC 17020
Contents Page
1 Scope 6
2 Definitions 6
3 Administrative requirements 7
4 Independence, impartiality and integrity 7
5 Confidentiality 9
6 Organisation and management 9
7 Quality system 10
8 Personnel 11
9 Facilities and equipment 11
10 Inspection methods and procedures 12
11 Handling inspection samples and items 13
12 Records 13
13 Inspection reports and inspection certificates 13
14 Sub-contracting 13
15 Complaints and appeals 14
16 Co-operation 14
Appendix 1 15
Appendix 2 16
Appendix 3 17
IAF/ILAC-A4:2004
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Guidance on the Application of ISO/IEC 17020
1 Scope
1.1a When using ISO/ IEC 17020 and this
guidance document the accreditation body
should neither add to, nor subtract from the
requirements of the standard. The applica-
tion of legal, governmental or other norma-
tive requirements shall be reflected in the
scope of accreditation granted.
1.4a Testing performed by an inspection body
may fall into one of two categories namely
functional and analytical. Functional testing,
for example load testing of a crane, forms a
normal part of the activities of an
inspection body and is therefore within the
scope of ISO/ IEC 17020. Analytical
testing, (which must be performed inside a
laboratory under well-controlled
environmental conditions and using more
sophisticated equipment or testing
procedures) is a laboratory activity and
therefore does not come within the scope
of ISO/ IEC 17020. Inspection bodies
wishing to undertake such laboratory type
analytical testing as part of an inspection
will need to do so in accordance with the
relevant requirements in ISO/ IEC 17025.
2 Definitions
2.1a Throughout these guidelines the word
product should be understood to include
the words product design, service,
process and plant as specified in clause
2.1.of the standard.
2.1b In recognition of the wide range of
industries represented by inspection bodies
alternative terminology could be used for
what is inspected.
2.1c The definition of inspection overlaps with
that of testing and product certification
where these activities have common
characteristics. However, an important
difference is that many types of inspection
involve professional judgement to
determine acceptability against general
requirements and thus the inspection body
will have to demonstrate that it has the
necessary competence to perform the task.
2.1d The scope of ISO/ IEC 17020 does not
cover quality management system
certification. It may, however, be necessary
for inspection bodies to examine certain
Some differences between Inspection (ISO/ IEC 17020) and Product Certification (ISO/ IEC Guide 65)
Activity Inspection Product Certification
Nature of operation Inspection of individual products, Certification of series of products and
and not necessarily by third party always by third party (indirect
(direct determination of conformance) determination of conformance)
Conformity Examined against standards or other Assessed against standards or other
normative documents and/ or normative documents
general requirements
Assurance Report provides condition at the time Certification normally provides
of inspection continuing assurance of compliance
Decisions No need for separation of those Certification decisions taken by a
taking inspection decisions from those different person(s) from those who have
performing inspection carried out evaluation
Issuing of licences No licences issued Grants licence to suppliers to issue
certificate
Marking of products Marks put only on products covered Marks may be put on a certified product
by inspection under licence
Surveillance Only where required in order to Normally necessary to provide
support inspection continuing assurance of compliance
In-service inspection of Always by inspection Not by product certification
products
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Guidance on the Application of ISO/IEC 17020
aspects of the quality management system
or other documented systems, in order to
justify the inspection results, for example,
the examination of processes. See Note 1
following Clause 2.1.
2.1e Generally, inspection involves direct
determination of the conformity with
specific or general requirements of unique -
often complex or critical - products or small
series of products, whereas product
certification primarily involves indirect
determination of the conformance of
products manufactured in long series to
specific requirements. While inspection of
products in use (in-service inspection) is a
well-established discipline, certification
(ISO/ IEC Guide 65) of products in use
does not occur. Some further differences
are shown in the following table.
3 Administrative Requirements
3.2a An organisational diagram is a useful means
of illustrating the position of the inspection
body in relation to a larger organisation.
Diagrams showing relationships with related
companies or organisations and relationships
between departments within the same
organisation are useful support for claims
of independence.
3.3a Accreditation bodies present the scope of
activity for which accreditation of
inspection bodies is granted in a formal
statement, called, for example, the
Accreditation Schedule that accompanies
the Accreditation Certificate. The
Accreditation Schedule is produced by the
accreditation body in consultation with the
assessor(s) involved in the assessment of
the inspection body. It is based on the
information provided by the inspection
body in connection with the application for
accreditation and the demonstrated and
verified competence of the inspection body.
The Accreditation Certificate and Schedule
should indicate the type of body as defined
in sub-clause 4.2 of ISO/ IEC 17020. An
example of a layout of an Accreditation
Certificate is given at Appendix 1 and of an
Accreditation Schedule at Appendix 2.
3.3b The scope of accreditation should be
defined in the schedule in sufficiently
precise terms that potential clients may
establish accurately and unambiguously the
general field of inspection, the type and
range of inspection and, where applicable,
the regulations, standards or specifications
containing the requirements against which
the inspection will be performed.
3.3c Contracts or work orders for inspection
should ensure that there is a clear and
demonstrable understanding between the
inspection body and its customer of the
scope of the inspection work to be
undertaken by the inspection body. In many
inspection areas (e.g. in-service inspection
based on national regulations) individual
contracts are not signed with clients. In
these cases the work order must be
contained in some underlying
documentation, e.g. regulations issued by
regulatory authorities.
3.4a The inspection body is expected to be able
to show what factors have been taken into
account when determining the necessary
level of the contracted insurance. One of
the factors that should be taken in to
account is the risks associated with the
performance of inspection activities.
3.4b It is not the role of accreditation bodies to
approve the level of insurance cover held
by their clients. The types of liability
covered by insurance, for example, may
include employers liability, public liability
and professional indemnity.
Note: Inspection bodies shouldpayparticular attention to
insurancecover when undertakinginspection work
in another country, wherelegal requirements may
differ fromthosein thebodys homecountry.
3.5a The conditions referred to in clause 3.5 are
contractual and business conditions, not
physical conditions, of inspection sites.
3.6a It is not the role of accreditation bodies to
judge the adequacy of the financial ac-
counts.
4 Independence, impartiality and integrity
4.1a Procedures should be documented to assure
inspection body staff are free from
commercial, financial or other pressures
which might affect their judgement.
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Guidance on the Application of ISO/IEC 17020
4.2a The categorisation of inspection bodies as
Type A, B or C is essentially a measure of
their independence. Demonstrable
independence of an inspection body may
strengthen the confidence of the inspection
bodys customers in the bodys ability to
carry out inspection work with impartiality
and objectivity. The terms first partyand
secondparty, as defined in ISO/ IEC Guide 2,
are not used in ISO/ IEC 17020, because
application of them would not be helpful.
However, since conventional thinking has
been in terms of first, second or third
parties for many years, it is necessary to
offer some explanation on the relationship
between the two sets of categories, as
included below.
4.2.1aA Type A Inspection Body, to claim to be
independent of the parties involved, shall
demonstrate that it is not linked to a party
directly involved in design, manufacture,
supply, installation, purchase, ownership, use
or maintenance of the items inspected or
similar competitive items by
! common ownership (except where the
owners have no ability to influence the
outcome of an inspection), Note1
! common ownership appointees on the
boards (or equivalent) of the
organisations (except where these have
functions that have no influence on the
outcome of an inspection) Note2
! directly reporting to the same higher
level of management
! contractual arrangements, informal
understandings or other means that may
have an ability to influence the outcome
of an inspection
In addition to the above, an Inspection
Body shall not become a Type A Inspection
Body if another part of the same
organisation is directly involved in design,
manufacture, supply, installation, purchase,
ownership, use or maintenance of the items
inspected or similar competitive items, when
such other parts of the organisation do not
have a separate legal identity.
The Chief Executive of the legal entity of
which the Inspection Body is a part shall
define and document its policy for
maintaining the Type A status of the
Inspection Body. The Accreditation Body
will examine the evidence of
implementation of this policy in respect of
ownership interests, constitution of board
of directors, means of financing, decision
making methods and other such factors that
may have an influence on the impartiality,
independence and integrity of a Type A
Inspection Body.
Note1An exampleof this is a cooperativetypeof
structurewheretherearelargenumbers of
stakeholders but they(individuallyor as a group)
havenoformal means of influencingthepolicies,
strategies or operation of theinspection body.
Note2 An exampleof this is wherea bank financinga
companymayinsist on an appointeetotheboard
tooverviewhowthecompanyis managedbut will
not beinvolvedin anydecision-making.
4.2.2aThe two characteristics by which inspection
bodies can be identified as Type B
inspection bodies are the following:
! Type B inspection bodies form a
demonstrably separate and identifiable
part of an organisation that is involved
in the design, manufacture, supply,
installation, use or maintenance of items
that they inspect;
! Type B inspection bodies supply
inspection services only to their parent
organisation.
A Type B inspection body may form a part
of a user organisation or of a supplier
organisation.
When a Type B inspection body that forms
a part of a supplier organisation inspects
items that are manufactured by or for its
parent organisation and are to be supplied
to the market or to any other party, it
carries out first party inspection.
When a Type B inspection body that forms
a part of a user organisation inspects items
to be supplied for use by its parent
organisation by a supplier organisation that
is not its parent organisation and not related
to it, it carries out second party inspection.
4.2.3aType C inspection bodies are involved, in
the design, manufacture, supply, installation,
use or maintenance of items that they
inspect. Inspections carried out by them
may include first party inspections and
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Guidance on the Application of ISO/IEC 17020
second party inspections of the same type
as carried out by Type B bodies. However,
Type C inspection bodies are distinct from
Type B inspection bodies for the following
reasons:
A Type C inspection body need not be a
separate part but shall be identifiable within
the organisation. A Type C body may itself
be the designer, manufacturer, supplier,
installer, user or maintainer of items that it
inspects.
A Type C inspection body may offer its
inspection service on the open market or to
any other party and supply inspection
service to external organisations. For
example, it may inspect products supplied
by it or by its parent organisation and used
by another organisation. It may also supply
other organisations with inspection of items
that are similar to those designed,
manufactured, supplied, installed, used or
maintained by it or by its parent
organisation, and which may therefore be
regarded as competitive.
Inspections carried out by Type C
inspection bodies cannot be classified as
third party inspections because they do not
meet the requirements of independence of
operations as stipulated for Type A
inspection bodies in Annex A of ISO/ IEC
17020. Type C inspection bodies may
conform to some of the criteria concerning
independence of other economic operators,
non-involvement in conflicting activities
and non-discriminatory operations that
characterise Type A and Type B inspection
bodies. Yet they remain Type C inspection
bodies as long as they do not meet all of the
requirements applicable to Type A or Type
B inspection bodies.
The design/ manufacture/ supply/
installation/ servicing/ maintenance and the
inspection of an entity carried out by a
Type C inspection body should not be
undertaken by the same person. An
exception to this is where a regulatory or
other authoritative requirement explicitly
allows an individual person from a Type C
inspection body to undertake both the
design/ manufacture/ supply/ installation/
servicing/ maintenance and the inspection
of an entity.
5 Confidentiality
5a The inspection body should have a policy,
documented in its quality system, concern-
ing the observance of the confidentiality
requirements of the client by the inspection
body (see clause 12.3 of ISO/ IEC 17020)
and by any sub-contractors engaged by it
(see clause 14 of ISO/ IEC 17020), taking
into account any relevant legal require-
ments. For mandatory inspections the
procedures should set out who, besides the
client, is entitled to have access to the
results.
6 Organization and management
6.1a The size, structure and composition of an
inspection body, taken together should be
suitable for the competent performance of
the tasks with which the inspection body is
concerned.
6.2a The inspection body should maintain an
up-to-date organisational chart clearly
showing the functions and lines of authority
for staff within the inspection body and the
relationship, if any, between the inspection
function and other activities of the
organisation. The position of the technical
manager and quality manager should be
clearly shown in the chart.
6.2b For each position in the organisation that
could have an effect on the quality of
inspections, or records of inspection, details
of responsibility should be included in the
quality system documentation.
6.2c The degree of complexity of documenta-
tion and the extent to which staff members
can hold several functions will depend upon
the size of the organisation.
6.3a Different persons may take up the role of
technical manager for different activities.
Where more than one person acts as the
technical manager, the specific responsibili-
ties of each person must be defined and
documented.
6.4a The inspection body should be able to
demonstrate that it is organised in such a
way that the work of the staff performing
inspections is supervised by personnel who
are familiar with the objectives of the
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Guidance on the Application of ISO/IEC 17020
inspections, the inspection methods and
procedures being used and the assessments
of the inspection results. The extent, nature
and level of supervision exercised should
take in to account the qualifications,
experience, training and technical knowledge
of the inspection staff and the inspections
being undertaken.
6.4b Effective supervision of inspections can be
claimed only in situations where a
supervisor is able to review, if required,
actual observations and inspection decisions
or otherwise personally verify that
inspection decisions are reliable.
6.4c Supervision of inspection personnel may
include, but not be limited to, the regular
review of inspection reports to ensure that
they are in accordance with relevant
legislation, inspection bodys procedures and
as necessary, contractual obligations agreed
with the client.(See also Clause 10.5c & d)
6.4d Monitoring of performance of inspections
should include on-site witnessing of
inspections. On-site witnessing of
inspections should be carried out by
technically competent personnel, who are
sufficiently independent to carry out the
witnessing of inspections objectively.
6.4e The inspection bodys programme for
witnessing inspectors should be designed so
that a representative sample of inspectors is
witnessed. As a minimum, every inspector
should be witnessed at least once during the
normal accreditation cycle (typically 3 - 4
years) performing each field of inspection
for which they are authorised by the
inspection body. Records of observed
inspections shall be kept.
6.5a The purpose of nominating a deputy is to
satisfy the need for competent management
in the absence of the manager. The deputy
does not have to be permanently employed
(see 8.1a) by the inspection body.
6.5b In an organisation, where the absence of a
key person causes the cessation of work,
the requirement for deputies may be
waived.
6.6a Positions, which could affect the quality of
inspection services, may include managerial,
clerical and other staff, as well as inspectors.
7 Quality system
7.3a For easy reference, it is recommended that
the inspection bodys quality manual indicate
where in the Quality System the
requirements of ISO/ IEC 17020 are
addressed, e.g., a cross reference table may
be included in the Quality Manual.
7.4a The position of the quality manager
(however named) should be clearly shown in
the organisational chart referred to in
guidance to clause 6.2. The quality manager
shall be free from any influences or
conflicts of interest that may affect the
quality of his/ her work.
7.7a The purpose of internal quality audits is to
verify that the documented operational
procedures of the inspection body are being
implemented as required. Quality audits are
normally planned and organised by the
quality manager and carried out in
accordance with a pre-determined schedule
that encompasses all aspects of the quality
system, including the performance of
inspections. The scopes, dates and the
detailed scheduling of audits should be
planned and conducted in accordance with a
documented procedure. Competent outside
bodies may carry out internal audits. As a
rule, internal audits should be arranged so
that the quality system is examined at least
once per year. Internal audits should ensure
that the guidance given in 6.4e is met.
7.7b Where an inspection body has more than
one operational site all aspects of the quality
system and all sites shall have a full internal
audit during an accreditation cycle.
Note: In this context an operational site is an office
(other than theheadoffice) whichkeeps records of
inspection work andof thelocal implementation of
thequalitysystemindependentlyof theheadoffice.
7.9a Management reviews should take account
of any relevant information, such as reports
from supervisory and managerial staff, the
outcome of internal quality audits and
external assessments, complaints from
clients, changes needed in the quality
system, the adequacy of current human and
equipment resources, future plans, estimates
for new work, and additional human
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Guidance on the Application of ISO/IEC 17020
resources, as well as the need for training of
both new and existing staff. The frequency
of management reviews should be deter-
mined by the inspection body, taking
account of the results from internal audits
and previous reviews and reports from an
accreditation body. Once a year is normally
considered acceptable
8 Personnel
8.1a Permanent personnel are those who are
employed by or under long term contract to
the inspection body. They may be employed
either on a full-time basis or on a part-time
basis. Where it is necessary to use personnel
for temporary situations, such personnel
should be formally contracted for the
period that the inspection body uses them.
The inspection body should ensure that
such personnel are effectively supervised
(see 6.4b) and competent and that they
work in accordance with the inspection
bodys quality system.
8.1b The inspection body shall have a sufficient
number of permanent competent personnel
having the education, training, technical
knowledge, skills and experience necessary
for handling the category, range and volume
of the work performed.
8.2a An accredited inspection body should define
and document the qualifications, training,
experience and the level of knowledge
required for the inspections to be carried
out (see also clause 6.6 of ISO/ IEC
17020). Accreditation bodies should assess
the appropriateness of such qualifications,
training, experience and the level of
knowledge for the scope of inspections to
be accredited.
Note: Achievement of qualifications andcompletion of
trainingandexperienceis not a guaranteeof
practical competencein inspection or thedevelop-
ment of soundprofessional judgement.
8.3a Inspection bodies may use competent
external organisations for staff training.
8.3b Identification of training needs for each
person should normally take place at least
once per year. This review should result in
documented plans for further training or a
statement that no further training is
required for the individual at present.
The purpose of these records is to demon-
strate the competency of each member of
the staff to perform specific inspection
tasks and, where relevant, to use specific
equipment.
8.5a This guidance may be in the form of a
code of conduct. It may include issues
relating to work ethics, impartiality, personal
safety, relationship with customers, company
rules and any other issues needed to assure
the proper conduct of inspection body
staff.
9 Facilities and equipment
9.1a The inspection body need not be the owner
of the facilities or equipment that it uses.
Facilities and equipment may be borrowed,
rented, hired, leased or provided by another
party (e.g. the installer of the equipment).
In all cases access to the equipment must be
defined and meet the requirements of ISO/
IEC 17020. However, the responsibility for
the suitability and the calibration status of
the equipment used in inspection, whether
owned by the inspection body or not, lies
solely with the inspection body.
9.1b If controlled environmental conditions are
needed and premises outside those of the
inspection body are used, the inspection
body should monitor the environmental
conditions in these premises with calibrated
equipment, record the results and note if
conditions are outside the limits within
which inspection can be performed.
9.2a Use of facilities and equipment by
unauthorised persons should not be
permitted. If any item is found to have left
the inspection bodys direct control,
measures must be taken to confirm its
continuing suitability before its return to
use. Typical measures would include visual
inspection, functional checks and/ or re-
calibration
9.4a Unique identification of items of
equipment is important even when the
organisation has only one example of a
particular item. This enables tracking when
items are replaced for whatever reason.
9.6a All equipment used for measurements and
tests, where the results of such
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Guidance on the Application of ISO/IEC 17020
measurements and tests have a significant
influence on the results of the inspection,
i.e. the conclusion about conformance with
requirements, shall be traceably calibrated.
9.6b Where equipment not under the direct
control of the inspection body is used, the
inspection body shall verify that the
equipment meets all relevant requirements
of ISO/ IEC 17020 before using it for
inspection. The verification procedure shall
be documented and verification records
shall be kept. Where such verification is not
practical, the report shall not be issued
under accreditation or, where accreditation
is mandatory, this fact shall be prominently
stated in the inspection report and the client
shall be informed of it.
9.7a Equipment identified under the criteria in
9.6, as clarified in 9.6a, should be traceably
calibrated to national or international
standards where possible.
9.7b Where the calibrations are performed in-
house, traceability to national standards
should be assured by using reference
standards of measurement for which the
inspection body holds a current calibration
certificate or equivalent from a competent
body. The certificate or equivalent should
detail an uncertainty of measurement that is
appropriate for the equipment that is to be
calibrated from the reference standard. For
further information on uncertainty of
measurement see ILAC G8.
10 Inspection methods and procedures
10.1a The requirements against which the
inspection is performed are normally
specified in regulations, standards or
specifications. Specifications may include
customer or in-house requirements.
When the inspection methods and
procedures are not defined in regulations,
standards or specifications the inspection
body itself shall define and document the
methods and procedures for inspection.
10.1b In certain circumstances the inspection
bodys customer may supply information
for the inspection body to take into
consideration when performing its
inspection. If the inspection body uses such
information supplied by any other party as
part of the inspection bodys determination
of conformity, then it should be able to
demonstrate the measures taken to verify
the integrity of such information.
10.3a A standard inspection method is one that
has been published, for example, in
International, Regional or National
standards or by reputable technical
organisations or by co-operation of several
inspection bodies or in relevant scientific
text or journals. This means that methods
developed by any other means, including by
the inspection body itself or by the
customer, are considered to be non-
standard methods.
10.5a Where appropriate (see note) each contract
or request should be reviewed by the
inspection body to ensure that:
1. the clients requirements are adequately
defined, documented and understood,
and
2. the inspection body has the capability to
meet the clients requirements, and
3. contract conditions are agreed, and
4. special equipment needs are identified,
and
5. personnel training needs are identified,
and
6. statutory requirements are identified,
and
7. special safety requirements are
identified, and
8. the extent of subcontracting
arrangements required are identified,
and
9. documentation needs are identified, and
10.the final contract or request accepted by
the inspection body agrees with the
original version that was reviewed as in
(1), (2) and (3) above.
Records of contract review shall be
retained.
Note: For routineor repeat work requests, reviewmaybe
limitedtoconsiderations of timeandhuman
resources andan acceptablerecordin suchcases
wouldbea signedacceptanceof thecontract byan
appropriatelyauthorisedperson.
10.5b In situations where verbal agreements are
acceptable, the inspection body should keep
a record of all requests and instructions
received verbally, dates and the identity of
the clients representative.
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10.6a Worksheets, notebooks etc used to record
observations during inspections shall be
retained for reference for a defined period.
10.8a Documented procedures should include
procedures to ensure the safety of
personnel and, where appropriate,
protection of the surrounding environment.
11 Handling inspection samples and
items
12 Records
13 Inspection reports and inspection
certificates
13.1a The terms report and certificate are
used synonymously in this clause. However,
in this guidance document it is assumed that
reports are detailed descriptions of the
inspection and its results whereas
certificates are generally short formal
statements of conformity with requirements
issued, for example, in connection with
mandatory inspection.
13.1b Where the inspection body issues an
inspection certificate, it may not be possible
to cover all of the work carried out by the
inspection body in the certificate itself. In
those circumstances it would be acceptable
to maintain separate documentation to
demonstrate the work carried out by the
inspection body, provided such
documentation can be traceable to the
correct inspection certificate.
13.2a The fact that the client does not require a
detailed report does not remove the
requirement for detailed inspection records
to be kept.
13.2b The content of an inspection report or
inspection certificate may vary depending
on the type of inspection and legal
requirements. Appendix 3 contains a list of
elements to be included in inspection
reports and inspection certificates. Some of
these elements are considered to be
mandatory for compliance with ISO/ IEC
17020. The mandatory elements of
Appendix 3 are marked with an asterisk (*).
The list should be considered when drafting
inspection reports and inspection
certificates.
13.2c Where inspection is for legal purposes
national authorities may place special
requirements on the reporting of inspection
results.
13.2d Under its accreditation the inspection body
may issue inspection reports or certificates,
indicating accreditation status, for inspection
activities described in generic terms in the
accreditation, provided that such reports or
certificates are issued for a defined type of
inspection using a defined technical
procedure and that they are referring to a
defined field of inspection.
13.3a In all cases it must be possible to identify
the person accepting responsibility for the
verification and release of the inspection
report or certificate.
13.3b An example of an otherwise approved
inspection report or inspection certificate is
one approved by secure electronic
authorisation or by seal. In such cases the
inspection body must be able to
demonstrate that authorisation is secure and
access to the electronic storage medium is
strictly controlled.
13.4a It must not be possible for ambiguity to
exist between a report or certificate with an
error and the corresponding corrected
report. This is most commonly avoided by
issuing a replacement report or certificate
with words such as this report/ certificate
replaces report/ certificate No. XYZ.
14 Sub-contracting
14.1a Sub-contracting of inspections which are
within the inspection bodys scope of
accreditation may take place only when any
of the following conditions apply:
1. It is necessary because there has been an
unforeseen or abnormal overload, key
inspection staff members are
incapacitated or key facilities or items of
equipment are temporarily unfit for use.
2. A small part of the contract from the
client involves inspection not covered by
the inspection bodys accreditation or is
beyond the capability or resources of
the Inspection Body. This does not
prevent the inspection body subcontract-
ing testing.
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14.1b Whenever work, which forms part of an
inspection, is carried out by sub-contractors, the
responsibility for determination of conformity of
the inspected item with the requirements always
remains with the inspection body.
14.2a Where the inspection body engages
individuals or employees of other organisations to
provide additional resources or expertise, these
individuals are not considered to be
sub-contractors provided they are formally
contracted to operate under the inspection bodys
quality system and have equivalent training and
records to permanent employees. (See also
guidance to clause 8.1)
14.2b Competence of a sub-contractor may be
demonstrated either:
by the sub-contractor having accreditation
to ISO/ IEC 17020 or ISO/ IEC 17025 for
the relevant inspections/ tests and providing
endorsed reports or certificates.
or
by the inspection body itself assessing the
competence of the sub-contractor to the
requirements of ISO/ IEC 17020 or ISO/
IEC 17025, as applicable.
14.2c Where the assessment of the sub-contractor
is carried out by the inspection body, it
should be able to demonstrate that the
assessment team is technically competent
and knowledgeable in the application of
ISO/ IEC 17020 or ISO/ IEC 17025.
14.3a If the competence of the subcontractor is
based partly or in full on its accreditation,
the scope of its accreditation shall cover the
activities to be subcontracted and the
inspection body shall have records available
to show that it has checked the status of the
subcontractor.
If the subcontracted bodies are not
accredited according to the relevant
standard for the specific activities to be
subcontracted, the inspection body shall
provide appropriate evidence of the
subcontracted bodys competence, such as
records of evaluation performed by quali-
fied personnel according to appropriate
procedures.
15 Complaints and appeals
15.1a Causes of complaints should be analysed as
part of management review so that
common causes can be identified and
appropriate action taken to minimise such
complaints in future.
15.2a It should be noted that Appeals procedures
are required only if the inspection body is
appointed to undertake work by a national
authority.
16 Cooperation
16a The purpose of this clause is to encourage
inspection bodies to exchange knowledge,
subject to commercial sensitivities and
confidentiality, and learn from each other to
improve the general standard and
consistency of accredited inspection results.
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Guidance on the Application of ISO/IEC 17020
Appendix 1: Example of layout of an Accreditation Certificate
[Name of Accreditation Body]
Controlled Inspection Ltd
Unit K
Impartial Business Centre
Sometown
Somecountry
Accreditation
No. 1234
is accredited to undertakeinspections as a TypeA body as detailed in theSchedulebearing the
aboveaccreditation number and [nameof accreditation body] logo.
Fromtimeto timethis Schedulemay berevised and reissued by [nameof accreditation body].
This Accreditation shall remain in forceuntil further noticesubject to continuing
compliancewith the[nameof accreditation body] requirements
and regulations specified by [nameof accreditation body].
Accredited inspection bodies meet therequirements of ISO 17020.
Signed by Chief Executive[nameof accreditation body]
Issued on [date] Initial Accreditation [date]
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Appendix 2: Example of layout of an Accreditation Schedule
[Name and logo of Accreditation Body]
NAME of Inspection Body
Accreditation No 1234
Type A
Address of Inspection Body: Inspection Body Contact
Telephone: Issue No:
Facsimile: Date:
Field of Inspection, such as: Type and Range of Inspection Methods and Procedures,
Product Design, Products (e.g, In-Service Inspection or such as:
(specified as Materials Inspection of New Products) Regulations, Standards,
or Equipment), Installations, Specifications, Internal
Plant, Premises, Processes, Procedures
Services and Surveys
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1* Designation of the document, i.e. as an
inspection report or an inspection
certificate, as appropriate
2* Identification of the document, i.e. date of
issue and unique identification
3* Identification of the issuing body
4* Identification of the client
5* Description of the inspection work ordered
6* Date(s) of inspection
7* Identification of the object(s) inspected and,
where applicable, identification of the
specific components that have been
inspected and identification of locations
where e.g. NDT methods have been applied
8* Information on what has been omitted
from the original scope of work
9* Identification or brief description of the
inspection method(s) and procedure(s) used,
mentioning the deviations from, additions to
or exclusions from the agreed methods and
procedures
10 Identification of equipment used for
measuring/ testing.
11 Where applicable, and if not specified in the
inspection method or procedure, reference
to or description of the sampling method
and information on where, when, how and
by whom the samples were taken
12* If any part of the inspection work has been
subcontracted, the results of this work shall
be clearly identified
13 Information on where the inspection was
carried out
14 Information on environmental conditions
during the inspection, if relevant
15* The results of the inspection including a
declaration of conformity and any defects
or other non-compliances found (results can
be supported by tables, graphs, sketches and
photographs)
16 A statement that the inspection results relate
exclusively to the work ordered or the
object(s) or the lot inspected
17 A statement that the inspection report shall
not be reproduced except in full without the
approval of the inspection body and the
client
18 The inspectors mark or seal
19* Names (or unique identification) of the
staff members who have performed the
inspection and in cases when secure
electronic authentication is not undertaken,
their signature, (see also clause 13.3 of
ISO/ IEC 17020)
Note: Theelements of inspection reports/ certificates that areconsideredtobemandatoryfor compliancewithISO/ IEC
17020 aremarkedwithan asterisk (*).
Appendix 3: Elements of inspection reports and inspection certificates